Stock Exchange levies a pair of fines

Two Fairfield County financial firms were fined in October by the New York Stock Exchange for violating exchange rules.

UBS Securities L.L.C., which has its primary office in Stamford, agreed to $950,000 in penalties on charges it failed to deliver prospectuses in connection with the sale of securities and failed to disclose investment banking relationships in research reports it published.

Greenwich-based Interactive Brokers L.L.C. consented to a $150,000 fine for allowing day traders to make trades when their accounts did not have $25,000 as a minimum amount and for failing to record various transaction details properly.

The companies neither admitted nor denied the infractions covered by the fines.